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One Financial Way, Cincinnati, OH 45242 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2026-08-18 |
| MA | RA | APPROVED | 2025-11-13 |
| MT | RA | APPROVED | 2025-01-09 |
| IN | RA | APPROVED | 2024-04-04 |
| KS | RA | APPROVED | 2021-10-14 |
| MI | RA | APPROVED | 2020-10-05 |
| NC | RA | APPROVED | 2020-07-23 |
| GA | RA | APPROVED | 2020-04-29 |
| CO | RA | APPROVED | 2020-01-05 |
| AZ | RA | APPROVED | 2017-06-02 |
| FL | RA | APPROVED | 2016-04-27 |
| AR | RA | APPROVED | 2016-04-22 |
| MN | RA | APPROVED | 2013-11-06 |
| IL | RA | APPROVED | 2013-01-10 |
| WI | RA | APPROVED | 2003-06-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Ins Co Of America | Little Chute | WI | 06/2001 | Present |
| The O.N. Equity Sales Company | Cincinnati | OH | 01/2003 | Present |
| Wisconsin Financial Advisors | Madison | WI | 01/2009 | Present |
1) TREVOR PFRANG; NOT INVESTMENT REALTED: 831 W. Northland Ave, APPLETON WI 54914;SELLING LIFE DISABILITY INSURANCE; AGENT 01/01/1997-CURRENT; 100 HOURS/MONTH(100 DURING SECURITIES TRADING HOURS); I SELL THE ABOVE MENTIONED PRODUCTS. 2)4 ACES LLC; NOT INVESTMENT RELATED; 3107 E GAZEBOHILL RD APPLETON WI 54913; REAL ESTATE; OWNER; START DATE 05/14/2013; HOURS/MONTH 10; HOURS/TRADING 10; RENT COLLECTION, TAX AND BILL PAYMENT, MAINTENANCE. 3) KGP Partnership LLC; not investment related; N3332 ASh LAke Trail Appleton WI 54913; real estate; owner; 03/2021; 2 hours ( 0 during security hour); property management
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-20 |
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